MH
Michael D. Hernandez
LPL ENTERPRISE
SHERMAN OAKS, CA 91403
Some features on this profile are disabled
CRD#: 4768814
MH
Professional summary
Michael David Hernandez, who also goes by Michael D. Hernandez, Michael David Hernandez, Michael Hernandez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Sherman Oaks, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael D. Hernandez | Michael David Hernandez | Michael Hernandez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 02/19/2025 - Emily Hernandez - Act in a Fiduciary Capacity - Non INV Related - At Alhambra, CA - Start Date 01/01/2023 - 6hrs/mth - 6hrs During Trading 2) 02/19/2025 - Non sponsored health insurance - Non-Variable Insurance - Health Insurance sales, service or advice, Insurance sales, service or advice, Health insurance, sales, service - INV Related - At Hawthorne, CA - Start Date 10/12/2021 - 2hrs/mth - 2hrs During Trading 3) 02/19/2025 - Non sponsored appointments for renewals and service only - Non-Variable Insurance Commission Trails - Representing existing insurance clients - INV Related - At Hawthorne, CA - Start Date 03/01/2006 - 0hrs/mth - 0hrs During Trading 4) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - Non-Profit Board Member - Non INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 0hrs During Trading 5) 02/19/2025 - LGBTQ Attorneys and Allies Bar Association - For-Profit Board Member - Non attorney board member /Board Services - Not INV Related - At Long Beach, CA - Start Date 02/02/2021 - 4hrs/mth - 4hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Hernandez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David Hernandez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403RIA
BD
CRD#: 8733
SHERMAN OAKS, CA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 15303 Ventura Boulevard Suite 1550, Sherman Oaks, CA 91403RIA
BD
CRD#: 8733
SHERMAN OAKS, CA
Past
April 28, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LOS ANGELES, CA
Past
April 28, 2021 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LOS ANGELES, CA
Past
May 18, 2018 - February 11, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
IRVINE, CA
Past
May 18, 2018 - February 11, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
IRVINE, CA
Past
November 29, 2017 - April 23, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
November 29, 2017 - April 23, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
Past
January 21, 2016 - March 9, 2018
TRILOGY CAPITAL, INC.
RIA
CRD#: 281597
Irvine, CA
Past
April 10, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
IRVINE, CA
Past
June 1, 2004 - November 29, 2017
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
IRVINE, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/14/2024)
IAR
California(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
